Management Systems International
INTRODUCTION TO THE
INSTITUTIONAL DEVELOPMENT
TOOLKIT
Institutional Development Framework (IDF)
•
A realistic and simple tool to assess institutional strengths
and weaknesses and based on that assessment, develop a
quantifiable plan to measure progress
History: Originated from a real-life
situation in Namibia
2002: NNF leads the
USAID program on the
technical and financial
level
1992: Launch of the USAID
local NGO program
NNF* is considered to have
a number of organizational
weaknesses
* Namibia Nature Foundation
1999: USAID contracts with
NNF for $3 millions to manage
the Local NGO partners
program; NNF is put in charge of
directing the Pilot Committee
1993: NNF follows the
IDF process and
launches an
improvement plan
Internal
progress
Realistic Tool
•
Can be used to help an organization
– increase its efficiency and effectiveness
– improve the organization as a place to work,
– increase the sustainability of an organization
•
Helps an organization chart its own path to Institutional Development
IDF Methodology
•
Self-assessment completed by staff of organization (staff must be
aware of participatory nature)
•
One facilitator leads the assessment
•
Takes place over a two-three day period
•
Best when conducted with initial individual interviews with staff and
background documents reviewed by facilitator in advance of the
assessment
IDF Measurement Process
Scope task
Plamen's Save the Potato Foundation 1993-1995
Institutional Develoment Profile
Start-Up
Implement
change
Development
Expansion/ Consolidation
Identify
participants
Sustainable
Capabilities
Oversight/Vision
ISC/Bulgaria
Draft Institutional Development Framework
Board
(revised
Mission12-Mar-00)
Autonomy
CRITERIA FOR EACH PROGRESSIVE STAGE
Management
Resources Resources
4
Leadership Style
Founding
Developing
Planning
Participatory
Management
Aspect
Component
Management Systems
Board’s Role
Progress Ranking
Board
Expanding/ Consolidating
Sustaining
OVERSIGHT/VISION
Roles of Board members and
the relationship of Board
members to the Executive
Director are unclear.
Board members understand
their role and how to relate to
Executive Director.
Board is formally constituted,
but not yet active partner.
Board becoming active partner.
Contributes and pursues
resources.
Board members assist organization
through access to key people and to
other organizations.
Board members provide policy
direction for action and overall
programming.
3/Component: __________________________________________________________
Mission/
M&E Systems
Resource Area
Strategic Overview
Consituency Participation
Active Board
Human Resources
Skills
Board provides some leadership and
committees formed, but only some
Decision
active members.
Significant funds raised by
Board and many members of
Board play active role.
Institutional Development
Resources Flow
Completi
Potential for
Result Training Advancing Board selected based on initial Board members’ skills do not Board’s skillsSource
match needs of the
Board members are catlyst for
on
datedevelopment
Multi-SO
activity
of founding of
match with growing Needed
needs of
developing organization.
long-term
of
Activities
2
Organization enthusiasm
Mentoring
organization, not necessarily on organization.
organization.
Stategy
Prioritize
Improvement
Participation
its long-term development.
Motivation
Financial Resources
Mission
Financial
Management
1
Financial Vulnerability
Financial Viability
Resource
Implications
Quadrant indicating
Planning as
Useful Clear
ToolMission Statement. It
areas needing
most
Mission
Statement is clear and is
generally consistent with portfolio.
can be articulated by Board
urgent attention
However, staff are not uniformly
and staff and is consistent with
No Mission Statement. Group
coalesces around general
objectives, such as a
commitment to environment,
health or development.
Mission Statement exists, but is
not focused. Diverse portfolio
of projects and proposals is not
consistent with Mission
Statement.
Organization is the
implementing agent of one
donor.
Organization is able to respond
External Resources
capable of articulating the Mission
Statement and people outside
organization may not identify it with
the organization.
portfolio. Outsiders identify
the same mission with the
organization.
Organization is able to obtain
funding to support its program, in
consultation with the Board.
In addition to managerial and
financial autonomy,
organization is able to
successfully advocate, on
behalf of its consitutency(ies),
to government, donors, and
private sector.
Craft
process
Public Relations
Autonomy
Constituency Orientation
Ability to Work with
Central & Local Gov't
Ability to Work with
other NGOs
to more than one donor and the
Totals:
organization’s Board.
1
2
3
4
Priority Ranking
Legend:
Baseline: as of Apr-00
Identify
weaknesses
Mid-Course: as of Apr-01
Post-Grant: as of Apr-02
Analyze/
Present
Results
Adapt tool/
Collect Data
The IDF Tool Kit
•
Framework
the HEART of the toolkit
•
Calculation Sheet
•
Profile Sheet
Institutional Development Continuum
Room to Improve
Start-up
Forming
Getting
started
Clear need for
increased capacity
Development
Storming
Getting
Organized
Basic level of
capacity in place
Expansion/
Consolidation
Sustainability
Norming
Performing
Strong
Here to Stay
Moderate level of
capacity in place
High level of
capacity in place
Institutional Development Continuum
Organizational Characteristics
Oversight/Vision
Management Resources
Human Resources
Financial Resources
External Resources
Framework Excerpt
Resources
CRITERIA FOR EACH PROGRESSIVE STAGE
Founding
Developing
Expanding/Consolidating
Sustaining
MANAGEMENT RESOURCES
Aspect
Component
Leadership
Style
Board
Staff
All leadership emanates from
core founder(s).
Leadership comes from core
founder(s) and one or two
Board members.
Vision increasingly comes from
Board as Board members improve
involvement.
All Board members
contribute to leadership and
development of the
organization.
Staff provide technical input
only. Decisions taken by core
founder(s).
One or two staff provide
organizational impetus, in
addition to Executive
Director.
Staff increasingly provide vital drive
to organization.
Organization would survive
without current Executive
Director or Chairperson of the
Board.
Using the Framework:
“X” Marks the Spot
•
Each row shows a desired path to improvement
•
Determine where along the continuum you are now situated
•
Mark an x on the spot
•
Be honest with yourself
Calculation Sheet:
“X” Marks the Spot
Institutional Development Continuum
,00
Management Resources
Organizational Characteristics
Suggested
Scale
Start-up
Development
Expansion/
Consolidation
1
2
3
,25
,50
,75
,00
,25
,50
,75
,00
,25
,50
,75
Sustainability
4
,00
Leadership Style
x
Decision Flow
x
Participation
Planning
x
Mission/Strategic Overview
Planning Flow
Resource Implications
Planning as Useful Tool
XYZ Resource
Key Component
Key Component
Not Applicable
x
x
Measures of
progress along
continuum
,25
,50
,75
Program Note
•
Research, field tests, trial and error, and a local adaptation process
went into making the cells as broadly useful as possible
•
But, they cannot be applicable to all organizations, nor should they
be
– Keep what works for you
– Delete what does not (process of altering done during the review
of each stage in the continuum)
Keep A Record of Your
Decisions
ISC/Bulgaria Draft Institutional Development Framework
(revised 12-Mar-00)
CRITERIA FOR EACH PROGRESSIVE STAGE
Resources
Founding
Developing
Expanding/ Consolidating
Sustaining
OVERSIGHT/VISION
Aspect
Board
x
Roles of Board members and
the relationship of Board
members to the Executive
Director are unclear.
Board members understand
their role and how to relate to
Executive Director.
Active Board
Board is formally constituted,
but not yet active partner.
Board becoming active partner.
Contributes and pursues
resources.
Advancing
Organization
Board selected based on initial
enthusiasm of founding of
organization, not necessarily on
its long-term development.
Board members’ skills do not
match with growing needs of
organization.
Board’s skills match needs of the
developing organization.
Board members are catlyst for
long-term development of
organization.
No Mission Statement. Group
coalesces around general
objectives, such as a
commitment to environment,
health or development.
Mission Statement exists, but is
not focused. Diverse portfolio
of projects and proposals is not
consistent with Mission
Statement.
Mission Statement is clear and is
generally consistent with portfolio.
However, staff are not uniformly
capable of articulating the Mission
Statement and people outside
organization may not identify it with
the organization.
Clear Mission Statement. It
can be articulated by Board
and staff and is consistent with
portfolio. Outsiders identify
the same mission with the
organization.
Organization is the
implementing agent of one
donor.
Organization is able to respond
to more than one donor and the
organization’s Board.
Organization is able to obtain
funding to support its program, in
consultation with the Board.
In addition to managerial and
financial autonomy,
organization is able to
successfully advocate, on
behalf of its consitutency(ies),
to government, donors, and
private sector.
Component
Board’s Role
Mission
Autonomy
x
Board members assist organization
through access to key people and to
other organizations.
Board members provide policy
direction for action and overall
programming.
Board provides some leadership and
committees formed, but only some
active members.
Significant funds raised by
Board and many members of
Board play active role.
x
Democracy Network II Institutional Development Calculation Sheet
Organization:
Resource
Aspect
Board
Date:
2000
2001
Key Components
Change
Over Time
Board's Role
2,00
3,00
1
Active Board
1,00
1,00
0
Advancing the Organization
2,00
4,00
2
1,67
2,67
1
Comments
Board has begun to play an important role in gaining access to
government and donors.
No change
Board has fully participated in the tremendous growth in fund
raising and advocacy for the organization
Democracy Network II Institutional Development Calculation Sheet
Organization:
Resource
Aspect
Board
Date:
2000
2001
Change
Over Time
Board's Role
2,00
3,00
1
Active Board
1,00
1,00
0
Advancing the Organization
2,00
4,00
2
1,67
2,67
Key Components
Graphing the results:
The Profile
Comments
Board has begun to play an important role in gaining access to
government and donors.
No change
Board has fully participated in the tremendous growth in fund
raising and advocacy for the organization
1
Plamen's Save the Potato Foundation 1993-1995
Institutional Development Profile
Start-Up
Capabilities
Oversight/Vision
Board
Mission
Autonomy
Development
Expansion/ Consolidation
Sustainable
Completed Profile
Plamen's Save the Potato Foundation 1993-1995
Institutional Develoment Profile
Start-Up
Development
Expansion/ Consolidation
Capabilities
Oversight/Vision
Board
Mission
Autonomy
Management Resources
Leadership Style
Planning
Participatory
Management
Management Systems
Service Delivery
Consituency Participation
M&E Systems
Human Resources
Skills
Stategy
Training
Mentoring
Motivation
Financial Resources
Financial Management
Financial Vulnerability
Financial Viability
External Resources
Public Relations
Constituency Orientation
Ability to Work with
Central & Local Gov't
Ability to Work with
other NGOs
Legend:
Baseline: as of Apr-00
Mid-Course: as of Apr-01
Post-Grant: as of Apr-02
Sustainable
Progress Ranking
4
Most Urgent Targets for
Institutional Strengthening
Decision
Flow
3
Financial
Management
2
1
Quadrant indicating
areas needing most
Mission/
Strategic Overview
urgent attention
1
2
3
Priority Ranking
Participation
Advocacy
4
Setting Targets
Just Starting
External/
Resources
Capabilities
Getting
Organized
Strong
Here to Stay
Target
Advocacy
(No change)
targeted
Ability to Work
with Gov’t
Target
Public Relations
Plan to achieve targets
Capabilities
Just Starting Getting
Organized
Strong
Here to Stay
Target
Oversight/
Vision
(No change)
targeted
Target
Resource Area /Component: __________________________________________________________
Result
Institutional Development
Activities
Totals:
Resources
Needed
Source
Completi
on date
Potential for
Multi-SO activity
Tailor tool to be inspirational
•
The “progress cells” are normative -- they are meant to convey an
agreed path of organizational evolution
•
The review process spurs consensus and reveals inconsistencies
•
Only focus on what matters
•
Make what you focus on matter